James Anthony Small

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2009 → Present
  Ubs Financial Services Inc
  Las Vegas, NV

Previous Registrations

• 2007-05-29 → 2009-05-28
  Citigroup Global Markets Inc.
  San Diego, CA
  Las Vegas, NV
  Las Vegas, NV
• 1998-06-18 → 2007-05-29
  Citicorp Investment Services
  Las Vegas, NV
  Las Vegas, NV

Other Businesses

1)PALM KINGS INC. / 6955 N. DURANGO DRIVE STE 1115-245 LAS VEGAS,NEVADA 89149 / COMPANY/ FORESTRY & WOOD PRODUCTS / GROWING PLAM TREES / OFFICER / / RECORD KEEPING / START DATE 1/1/2014 2) 5154 Patrick Lane / 5154 Patrick LaneLas VegasNevadaUnited States89113 / Industrial Building / Real Estate / Rental Property / Collect rent / Proprietor / owner / Start Date: 2/28/2022 3) Name of Business and Address: 9310 Prototype Drive RenoNevadaUnited States 89521./ Investment related: Yes./ Nature: Industrial real estate./ Role: Proprietor / owner./ Duty: Collect rent./ Start Date: 12/1/2023./ Time Required: N/A. 4)2960 E. Sunset Las Vegas, Las VegasNevadaUnited States,Industrial Real estate,Real Estate,Rental Real Estate,Proprietor / owner,Manage rental tenant,Start date8/29/2025Investment -Yes 9128 Captivating ave Las Vegas NV 89149, Single Family Rental Home, Proprietor / owner, Landlord, start date-5/7/2018, Las Vegas Nevada United States89149 Double DiamondPassive Real Estate rental, Proprietor / owner, Collect rent check, start date-8/1/2021,Reno Nevada United States-89521 PALNV, Board of Directors, Advisor or advisory group member if advice given may influence an officer/board, Advisory Board of Directors, start date-4/15/2023, Las Vegas Nevada United States-89130. King Property Development and Management Inc., Property Development & Management, Proprietor / owner, Collect rents and repair and improve properties, start date-12/11/2024, Las Vegas NevadaUnited States-89129

Exams

• S65 Uniform Investment Adviser Law Examination
  2000-12-29
• S63 Uniform Securities Agent State Law Examination
  1992-03-20

Other Names

• James Anthony King
• James Samll